Compliance Graduate

Develop compliance expertise by supporting regulatory reporting, financial crime prevention, and governance activities within a financial planning business.

Career

Are you an ambitious graduate or early-career professional looking to build a long-term career in Financial Services?

We're seeking a bright, driven and commercially minded individual to join our Compliance team on a 12 month fixed term contract within a growing Financial Planning business. This role is ideal for someone with around 12 months' experience in a professional environment who enjoys working with data, solving problems, and learning how regulated businesses operate.

You don't need prior Compliance experience. What matters most is intellectual curiosity, strong attention to detail, and a genuine interest in understanding the regulations that underpin the Financial Services industry.

This role will provide broad exposure across Compliance, Assurance and Financial Crime, giving you the opportunity to develop valuable technical knowledge and build relationships with senior leaders from the outset.

You'll receive hands-on coaching, real responsibility, and the chance to develop into a Compliance specialist as your career progresses.

About the Role

You'll support a range of regulatory, governance, assurance and financial crime activities across the business.

Working closely with the Head of Compliance, Assurance Director and Financial Crime Manager, you'll gain exposure to both strategic and operational aspects of a modern Compliance function.

From producing management information and board reporting to supporting regulatory submissions and financial crime investigations, you'll play an important role in helping the business meet its regulatory obligations.

This position offers an excellent opportunity for someone who enjoys analysing data, learning new concepts quickly, and taking ownership of meaningful work from an early stage in their career.

Key Responsibilities

Compliance Reporting & Management Information

• Own and maintain the Consumer Duty Dashboard on behalf of the Assurance Director.

• Develop into the team's subject matter expert for Management Information (MI).

• Produce compliance and assurance reports for senior management and Board-level reporting.

• Analyse data and identify trends, risks and insights to support decision-making.

Regulatory & Compliance Support

• Support the preparation and submission of regulatory filings and returns.

• Assist with compliance monitoring activities and ongoing regulatory projects.

• Develop a strong understanding of FCA requirements and wider industry best practice.

• Support investigations into compliance incidents and assist with remedial action plans.

Financial Crime & Due Diligence

• Support the Financial Crime Manager with client onboarding and Know Your Client (KYC) activities.

• Assist with enhanced due diligence, Anti-Money Laundering (AML) reviews, transaction monitoring and screening activities.

• Conduct compliance and financial crime due diligence on third-party suppliers and business partners.

Administration & Projects

• Provide administrative support to the Head of Compliance and wider team.

• Support business users with system, database and information enquiries.

• Contribute to projects focused on embedding and enhancing Consumer Duty across the organisation.

• Undertake ad hoc tasks and projects to support the wider Compliance function.

Skills & Experience

• At least 12 months' experience in a professional environment, ideally within Financial Services, Accountancy, Consultancy or another regulated industry.

• Strong Excel and spreadsheet skills, including experience using functions such as Pivot Tables and VLOOKUP/XLOOKUP.

• Excellent attention to detail and organisational skills.

• Strong written and verbal communication skills.

• Comfortable working with data and producing reports.

• Proactive approach with a willingness to take ownership and deliver high-quality work.

• Strong desire to learn and develop within Compliance and Financial Services.

Please note that this role is offered as a 12-month fixed-term contract. Given the breadth of exposure across Compliance, Assurance and Financial Crime, it is particularly well suited to candidates seeking to build experience in a regulated Financial Services environment and establish a foundation for a future career in Compliance, Risk or Financial Crime.

Benefits

• Competitive Pension Scheme - we contribute 6%, you 3%

• 26 days holiday plus bank holidays

• Private Medical Insurance

• Life Assurance (4x)

• Group Income Protection

• Work From Anywhere policy